COURT OF APPEAL (CIVIL DIVISION)
ON APPEAL FROM THE EMPLOYMENT APPEAL TRIBUNAL
Strand, London, WC2A 2LL | ||
B e f o r e :
LORD JUSTICE PILL
and
LORD JUSTICE MUMMERY
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MR AA LAWAL | Appellant | |
- and - | ||
NORTHERN SPIRIT LIMITED | Respondent |
____________________
MS SARAH MOORE (instructed by the Treasury Solicitor to appear as advocate of the court)
MR PHILIP SALES (instructed by the Treasury Solicitor for the Lord Chancellor’s Department as an Interested Party)
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Lord Justice Mummery:
Introduction
The Proceedings
Part-time Judges and Lay Members of the Employment Appeal Tribunal
“The question is whether the fair-minded and informed observer, having considered the facts, would conclude that there was a real possibility that the tribunal was biased”: per Lord Hope of Craighead at p.84, paragraph 103.
The Relevant Facts about the Employment Appeal Tribunal
“ … it is accordingly quite unrealistic to suppose that such lay members will fail to distinguish between the obviously different roles of a partisan counsel acting as such and the same man or woman acting as a neutral part-time judge.”
The Strasbourg Cases
Part-time Chairmen
Result
D’Souza and related appeals.
Lord Justice Pill:
Employment Appeal Tribunal
“The appointed members shall be persons who appear to the Lord Chancellor and the Secretary of State to have special knowledge or experience of industrial relations either –
(a) as representatives of employers, or
(b) as representatives of workers (within the meaning of the Trade Union and Labour Relations (Consolidation) Act 1992).”
(a) of persons whose knowledge or experience of industrial relations is as representatives of employers and
(b) of persons whose knowledge or experience of industrial relations is as representatives of workers”.
Section 28(3) provides that, with the consent of the parties, proceedings may be heard by a judge and one, or three, appointed members.
“Applicants must:
be able and willing to prepare for hearings
have good analysis and comprehension
have good judgment
be able to operate effectively as a member of a team
be able to command trust and respect from colleagues and applicants
be below the age of 67 on appointment
be able to sit for a minimum of 2 days a month during the judicial year (the EAT sits for about 35 weeks a year)
have recent (i.e. the last 5 years) employment relations experience at the senior level”
“It is widely acknowledged, especially among the judges who serve at the EAT, that the presence of lay members adds to the authority of the judgments made there, and to the acceptability of judicial intrusion in employment matters.”
The power to appoint temporary additional judges of the Appeal Tribunal is provided by section 24 of the 1996 Act and a person so appointed has all the functions of a judge nominated under section 22(1)(a). It is the Lord Chancellor’s exercise of that power which has given rise to the issue before the court. The jurisdiction of the Appeal Tribunal is defined in section 21 of the 1996 Act. Subsection (1) provides that:
“an appeal lies to the Appeal Tribunal on any question of law arising from any decision of, or arising any proceedings before, an employment tribunal under or by virtue of ...”
The relevant statutes are then listed and the list includes the Employment Rights Act 1996 and the Race Relations Act 1976. As the Appeal Tribunal point out in the present case: “the EAT acts by a majority; the judge in the chair has but one of the three votes”.
Employment Tribunals
“It is understood that part-time chairmen may become involved to some extent within their practices on behalf of parties who have cases in the region to which they have been assigned to sit as a chairman. However, in order to ensure that there are no allegations of bias, no part-time chairman may be a representative or appear as an advocate before any employment tribunal in the whole of that region.”
There are other restrictions of a common sense kind, to which I need not refer for present purposes.
The Law
“As to the question of ‘impartiality’, there are two aspects to this requirement. First the tribunal must be subjectively free from judicial bias. Secondly, it must also be impartial from an objective viewpoint, that is, it must offer sufficient guarantees to exclude any legitimate doubt in this respect.”
Lord Hope stated:
“In both cases the concept requires not only that the tribunal must be truly independent and free from actual bias, proof of which is likely to be very difficult, but also that it must not appear in the objective sense to lack these essential qualities.”
Lord Hope stated at paragraph 103:
“The question is whether the fair-minded and informed observer, having considered the facts, would conclude that there was a real possibility that the tribunal was biased.”
“42. Nonetheless the Court cannot confine itself to looking at the consequences which the subordinate status of the Rapporteur vis-à-vis the Transactions officer might have had as a matter of fact. In order to determine whether a tribunal can be considered to be independent as required by Article 6, appearances may also be important. Where, as in the present case, a tribunal’s members include a person who is in a subordinate position, in terms of his duties and organisation of his service vis-à-vis one of the parties, litigants may entertain legitimate doubt about that person’s independence. Such a situation seriously affects the confidence which the Court must inspire in a democratic society. There was accordingly a violation of Article 6(1).”
The reference to public confidence has been a theme in the jurisprudence of the ECHR. In Veililos v Switzerland 1988 10 EHRR 466, the Court stated that a situation of the kind which existed in that case “may undermine the confidence which must be inspired by the Court in a democratic society”. More recently in Wettstein v Switzerland (2001) (Application No 33958/96) the Court stated (at para 44):
“In this respect even appearances may be of a certain importance. What is at stake is the confidence which the courts in a democratic society must inspire in the public”
In In re Medicaments and Related Classes of Goods (No 2) [2001] 1 WLR 700, Lord Phillips of Worth Matravers MR, giving the judgment of this Court, included in the principles to be derived from the cases, the principle that “an important consideration in making an objective appraisal of the facts is the desirability that the public should remain confident in the administration of justice” (para 83). As the Master of the Rolls observed in the course of argument in the present case, the concept of public confidence is similar to the common law concept that justice must be seen to be done.
“The attributes of the fictitious bystander to whom courts defer have therefore been variously stated. Such a person is not a lawyer. Yet neither is he or she a person wholly uninformed and uninstructed about the law in general or the issue to be decided. Being reasonable and fair-minded, the bystander, before making a decision important to the parties and the community, would ordinarily be taken to have sought to be informed on at least the most basic considerations relevant to arriving at a conclusion founded on fair understanding of all the relevant circumstances. ...”
Kirby J also stated (para 52) that “it is necessary to consider the impression which the same facts might reasonably have upon the parties and the public. It is their confidence which must be won and maintained”.
“In order to determine the likely attitude of fair-minded lay observer, the judge must be clothed with the mantle of someone the judge is not. One must avoid the natural temptation to view the judicial conduct, state of knowledge, association or interest in question through the eyes of a professional judge. ... one must be careful not to attribute to the lay observer judicial qualities of discernment, detachment and objectivity which judges take for granted in each other.”
In Johnson, it was stated in the judgment of Gleeson CJ, Gaudron, McHugh. Gummow, and Hayne JJ, at paragraph 12, that “the hypothetical reasonable observer of the judge’s conduct is postulated in order to emphasise that the test is objective, is founded in the need for public confidence in the judiciary and is not based purely upon the assessment of some judges of the capacity or performance of their colleagues.” It was the position of a professional judge, which was, as it was in Sengupta, under challenge. The Court added:
“At the same time, two things need to be remembered: the observer is taken to be reasonable; and the person being observed is ‘a professional judge whose training, tradition and oath or affirmation require the [judge] to discard the irrelevant, the immaterial and the prejudicial’”.
[The citation within that passage is from the judgment of McHugh JA in Vakauta v Kelly (1988) 13 NSWLR 502 at 527.]
Submissions
Conclusions
Lord Phillips MR: